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Local Assistance Program Guidelines Chapter 20 EEM Program CHAPTER 20 ENVIRONMENTAL ENHANCEMENT AND MITIGATION (EEM) PROGRAM CONTENTS Section Subject Page Number 20.1 INTRODUCTION ........................................................................................................ General ................................................................................................ Definitions ........................................................................................... 20-1 20-1 20-1 20.2 ELIGIBILITY CONSIDERATIONS ........................................................................... Eligible Applicants ............................................................................. Eligible Projects.................................................................................. Eligible Costs ..................................................................................... 20-2 20-2 20-2 20-3 20.3 PROJECT APPLICATION ........................................................................................ 20-4 20.4 RESPONSIBILITIES OF KEY PARTICIPANTS .................................................... Local, State, and Federal Governmental Agencies, and Nonprofit Organizations...................................................................................... Resources Agency ............................................................................... California Transportation Commission (CTC) .............................. Caltrans Headquarters, Division of Local Assistance .................... Caltrans Districts................................................................................ 20-4 20.5 PROJECT EVALUATION AND SELECTION ........................................................... Mandatory Requirements .............................................................. Evaluation Criteria ............................................................................ General Evaluation Criteria .................................................. Project Category Criteria....................................................... 20-7 20-7 20-7 20-7 20-7 20.6 FUNDING CONSIDERATIONS .............................................................................. Maximum Grant Amount.................................................................. Northern/Southern Counties Split .................................................... 20-8 20-8 20-8 20.7 CONSIDERATIONS FOR ACQUISITION OF REAL PROPERTY OR CONSERVATION EASEMENTS ................................................................................ 20-8 20.8 PROCEDURES FOLLOWING CTC ADOPTION OF EEM PROGRAM ................. 20-9 20.9 REFERENCES ............................................................................................................ 20-20 20-4 20-4 20-5 20-5 20-6 EXHIBITS Exhibit Description Page Number 20-A EEM PROGRAM CRITICAL DATES ............................................................... 20-21 20-B SAMPLE RESOLUTION ................................................................................... 20-23 20-C REQUEST FOR CTC ALLOCATION VOTE .................................................... 20-25 LPP 04-02 January 23, 2004 Local Assistance Program Guidelines 20-D APPLICANT-STATE AGREEMENT ................................................................ Chapter 20 EEM Program Project Description and Financing Cost Proposal ………………………... ………...….. Fair Employment Practices Addendum ………...….. Sample of EEM Project Invoices Remarks and Covenants………...…...…...…...…...…... 20-27 20-39 20-41 20-43 20-45 20-47 20-E AGREEMENT DECLARING RESTRICTIVE COVENANTS (ADRC) ........... Attachment A Legal Description of Real Property…….……………..…. Attachment B Original EEM Application…….……………..…...… …... 20-49 20-55 20-57 20-E1 EEM RESTRICTIVE COVENANTS AGREEMENT FOR CONSERVATION EASEMENT (RCACE)........................................................................................ Attachment A LEGAL DESCRIPTION OF Conservation Easement …... Attachment B EEM ORIGINAL APPLICATION………………………... 20-59 20-63 20-65 CHANGE OF EEM APPLICANT STATUS REQUEST LETTER: PREALLOCATION VOTE .......................................................................................... 20-67 CHANGE OF APPLICANT STATUS REQUEST LETTER: POSTALLOCATION VOTE .......................................................................................... 20-69 INVOICE PAYMENT REQUEST MEMO FOR PROJECTS INVOLVING ACQUISITION OF REAL PROPERTY OR A CONSERVATION EASEMENT – (PREPARED BY APPLICANT) .......................................................................... 20-71 INVOICE PAYMENT REQUEST MEMO FOR PROJECTS INVOLVING ACQUISITION OF REAL PROPERTY OR A CONSERVATION EASEMENTS – (PREPARED BY DISTRICT) …...…...…...…...…...…...…...…...…... 20-73 PROCEDURES FOR EEM PROJECTS INVOLVING ACQUISITION OF REAL PROPERTY OR CONSERVATION EASEMENT .............................................. 20-75 CTC GUIDELINES FOR ALLOCATING, MONITORING & AUDITING OF FUNDS FOR LOCAL ASSISTANCE PROJECTS ............................................. 20-81 20-L ASSIGNMENT AND ASSUMPTION OF AGREEMENT ................................... 20-91 20-M FINAL PROJECT EXPENDITURE REPORT .................................................... 20-99 20-N SCOPE CHANGE REQUEST............................................................................... 20-101 Attachment A Attachment B Attachment C Attachment D Attachment E 20-F 20-G 20-H 20-I 20-J 20-K January 23, 2004 LPP 04-02 Local Assistance Program Guidelines Chapter 20 EEM Program CHAPTER 20 ENVIRONMENTAL ENHANCEMENT AND MITIGATION (EEM) PROGRAM 20.1 INTRODUCTION GENERAL These guidelines have been prepared to assist the applicants through the application process and to ensure compliance with the rules governing the Environmental Enhancement and Mitigation (EEM) Program. The purpose of the EEM Program is to provide funding to mitigate the environmental impacts of new or modified public transportation facilities above and beyond that are required by the environmental document for that transportation facility. Eligible applicants may apply for and receive grant funds to undertake environmental enhancement and mitigation projects that are directly or indirectly related to mitigating the environmental impact of modified existing transportation facilities, or for the design, construction, or expansion of new transportation facilities. The EEM program is codified in Section 164.56 of the Streets and Highways Code. The Legislature is authorized to allocate $10 million annually to local, State, and federal agencies, and nonprofit entities. Funding for the annual EEM program is subject to the appropriation of funds in the State Budget Act. The State Resources Agency (RA) of California prescribes the procedures and criteria to evaluate grant proposals, and based on their evaluations, prepares, and submits recommended projects for funding to the California Transportation Commission (CTC). The CTC annually awards grants to fund proposals from the RA’s list, and the Department of Transportation (Caltrans) is responsible for the contract development, contract administration, and reimbursement of the program once it is approved for funding. Caltrans does not determine eligibility of the projects. DEFINITIONS Applicant Funding Participation (Match) - Local cash contributions. State Funding Participation - EEM funds allocated to the project by the CTC. Participating Costs - Project related costs (inclusive of both EEM funds and match) incurred during the project performance period and prescribed in the Resources Agency’s EEM Procedures and Criteria (http://resources.ca.gov/eem/) as eligible for reimbursement. Reimbursement for participating costs will be limited to those specified in the project budget, EEM Grant Application, CTC Allocation Resolution, and the Applicant-State Agreement (Agreement) or its amendments. Nonparticipating costs - Any costs incurred on the project over and above participating costs of EEM funds and match. Nonparticipating costs may be incurred on a project but are excluded from the reimbursement calculations. LPP 08-03 Page 20-1 September 29, 2008 Chapter 20 EEM Program Local Assistance Program Guidelines Reimbursement ratio - A percentage used to pay the applicant, the State’s pro rata share of EEM funds on the project. The reimbursement ratio is derived from the State’s share of EEM funds to the total project cost, and is calculated from the applicant’s original project budget and the CTC approved EEM funding. The reimbursement ratio does not vary and is included in the Applicant-State Agreement. Funding allocation - Distribution (approval) of EEM funds by the CTC to a specific project. An applicant must receive their funding allocation from the CTC within the first fiscal year of program adoption. 20.2 ELIGIBILITY CONSIDERATIONS ELIGIBLE APPLICANTS Any state, local and federal governmental agencies, and nonprofit organizations are eligible to apply for EEM grant funds. Applicants are not required to be a transportation or highway-related organization but must be able to demonstrate adequate charter or enabling authority to carry out the type of project proposed. Eligible nonprofit organizations are those classified under Section 501(c)(3) of the Internal Revenue Service code. ELIGIBLE PROJECTS EEM projects must meet the minimum requirements listed under Section 20.5, “Project Evaluation and Selection,” “Mandatory Requirements” of this chapter. To be eligible for consideration, each EEM project must be directly or indirectly related to the environmental impact of the modification of an existing transportation facility or construction of a new transportation facility, implemented after January 1, 1990, or the related transportation facility may be a project that is not yet under construction but is included in an adopted State Transportation Improvement Program (STIP), or in a locally adopted regional transportation improvement program and certified capital outlay program. “Indirectly,” as opposed to “directly,” may be used in reference to the geographic location of an EEM project, that is, the project may not be in the immediate vicinity of the transportation project but in the general area, or it may be used to characterize the type of benefits produced. It is the responsibility of the applicant to explain the cause and effect relationship between the impact of the transportation project and the proposed EEM project. A transportation facility, as defined in the California Constitutional Provisions Article XIX, Section 1, and for the purposes of this program, is a public street, highway, mass transit guideway or their appurtenant features (e.g., park-and-ride facilities, highoccupancy vehicle lanes, transit stations, etc.). If the EEM project is on State-owned right of way, applicable State design and construction standards and practices shall be used. If the EEM project is off State-owned right of way, applicable design and construction standards and practices of the local government having jurisdiction over the project location shall apply. All necessary encroachment permits to access right of way must be obtained before construction may begin on a project. If a transportation facility is constructed in separate and distinct phases, each phase may be considered a separate project for purposes of this definition, provided that each phase provides an operable transportation improvement. All eligible projects must fall within one of the following project categories: Page 20-2 January 23, 2004 LPP 04-02 Local Assistance Program Guidelines Chapter 20 EEM Program • Highway Landscape and Urban Forestry - These projects are designed to offset vehicular emissions of carbon dioxide through the planting of trees and other suitable plants. Projects may be within or outside the right of way of the related transportation facility; however, planting within a public roadway right of way is limited to trees. Projects within the right of way are not intended to supplant landscaping which would normally be funded by the responsible public agency. EEM grant funds are not to be used for this purpose. • Resource Lands - These projects involve the acquisition of real property in fee title or through a conservation easement. Projects may include the restoration or enhancement of resource lands to mitigate the loss of, or the detriment to resource lands lying within or near the right of way acquired for proposed transportation improvements. Resource lands include natural areas, wetlands, forests, woodlands, meadows, streams or other areas containing fish or wildlife habitat as well as features of archaeological or historical value. Enhancement of resource lands may include the restoration of wildlife corridors. • Roadside Recreational - These projects provide for the acquisition and/or development of roadside recreational opportunities, including parks and greenways, roadside rests, scenic overlooks, vista points, trails, trailheads, and sno-parks (see Public Resources Code, Section 5091.02). ELIGIBLE COSTS Only direct project-related costs as prescribed by the Resources Agency’s EEM Program Procedures and Criteria and incurred during the project performance period, as specified in the project budget and grant agreement are considered eligible for reimbursement. Indirect project costs such as general program administration, general overhead (e.g., phone, fax, and rental space), as well as costs incurred outside the project performance period such as maintenance are not eligible for reimbursement. However, the services of applicant employees directly engaged in project development/implementation are eligible. The State will make payment(s) on a reimbursement basis of its proportionate share of actual costs incurred to date on the project after expenses and debts have been paid by the applicant. Invoices submitted for payment must include back-up documentation such as appropriate invoices, purchase orders, cancelled warrants, and other records. Costs (for which EEM funds and matching funds will contribute) eligible for reimbursement may not be incurred until after all the following occur: 1) the project is adopted into a State program, 2) the project has received a CTC funding allocation, 3) the project Agreement has been signed by both the applicant and the State, and 4) the Caltrans Local Program Accounting (LPA) office certifies that the EEM funds have been encumbered for the project. Costs incurred in advance of these events are not eligible for reimbursement. LPP 08-03 Page 20-3 September 29, 2008 Chapter 20 EEM Program Local Assistance Program Guidelines 20.3 PROJECT APPLICATION The California Resources Agency (RA) in Sacramento is responsible for the development and distribution of the EEM Grant Application packet including the procedures and criteria, which can be found at this Web site: http://resources.ca.gov/eem/. The RA maintains a current mailing list of applicants included in previously funded cycles and compiles addresses throughout the year for applicants interested in future cycles. Any local, State, and federal governmental agencies, and nonprofit organizations interested in receiving an EEM Grant Application can sign-up on line on the Web site noted above or by contacting the RA by mail, phone, or fax at: The State Resources Agency of California 1416 Ninth Street, Suite 1311 Sacramento, CA 95814 Phone: (916) 654-9923 Fax: (916) 653-8102 In September, the RA sends out the call for projects. All applicants must submit their completed applications to the RA usually in November. In January of the following year, the RA prepares and submits a list of projects it recommends for funding to the CTC. All project applicants are notified of their project status at that time. It is anticipated the CTC will adopt the annual EEM Program in March. A new program is adopted each fiscal year and a new “cycle” of projects for funding are identified for that State fiscal year’s program. A listing of critical dates for the 2007/2008 grant cycle is provided in Exhibit 20A, “EEM Program Critical Dates,” of this chapter. Due to the sometimes-late passage of the State Budget, the dates may be pushed back as well. 20.4 RESPONSIBILITIES OF KEY PARTICIPANTS LOCAL, STATE AND FEDERAL GOVERNMENTAL AGENCIES, AND NONPROFIT ORGANIZATIONS Eligible projects are conceived and initiated through submittal of a Grant Application by an eligible local, State, or federal agency, or nonprofit organization. Applicants must provide assurance to the satisfaction of the RA and Caltrans that they are capable of performing the required tasks of the program. All local governmental agencies and nonprofit organizations must also submit a signed resolution (see Exhibit 20-B, “Sample Resolution Approving an EEM Project,” of this chapter), as part of their application package from their governing body approving the project as a candidate for the EEM Program. RESOURCES AGENCY (RA) The Resources Agency (RA) is directly responsible to the Legislature for project evaluation. Its responsibilities include: • Page 20-4 September 29, 2008 Prescribing and maintaining the EEM Program Procedures and Criteria to evaluate grant proposals. LPP 08-03 Local Assistance Program Guidelines • • • • Chapter 20 EEM Program Developing and maintaining a mailing list of interested local, State, and federal governmental agencies, and nonprofit organizations. Receiving Grant Applications. Evaluating grant proposals, preparing, and submitting a list of ranked proposals they recommend for funding in accordance with their procedures and criteria to the CTC (this list includes projects which in total exceed the available funding for the program, therefore, the CTC must reduce this list to a fundable program of projects). Reviewing major changes in project scope when requested by Caltrans CALIFORNIA TRANSPORTATION COMMISSION (CTC) The CTC has primary responsibility for programming and allocating funds for the EEM program. The following responsibilities are performed by the CTC: • • • • • Reviews the RA’s list of candidate projects and reduces this list to a fundable amount of projects. Approves annual EEM Program and allocates funds to approved projects in the EEM Program. Ensures that the proper environmental documentation has been completed and submitted to CTC staff prior to the project being included in the annual EEM program. Allocates funds to approved projects in the EEM program. When applicable: 1) reviews major changes in scope (although no additional EEM funding will be allocated for project cost increases), and 2) reviews transfer of applicant status on a project from one eligible agency to another. CALTRANS HEADQUARTERS, DIVISION OF LOCAL ASSISTANCE (DLA) The CTC delegated the EEM program administration to Caltrans. This responsibility has been assigned to the Division of Local Assistance (DLA). The DLA is responsible for: • LPP 08-03 Reviewing the proposed project applications, and providing comments to the CTC regarding the following: - Environmental documentation - Project readiness and project merit - Resolution of governing body - Impact on State-owned or -maintained facilities and non-State owned or non-State maintained facilities - Conformance with scheduled or anticipated plans for future Caltrans facility construction or modification - Maintenance responsibilities - Conformance with: 1) RA EEM Program Procedures and Criteria found at: http://resources.ca.gov/eem/ 2) CTC Guidelines for Allocating Monitoring, and Auditing of Funds for Local Assistance Projects, Exhibit 20-K of this chapter 3) Caltrans’ Local Assistance Program Guidelines (LAPG), Chapter 20, both are found at: http://www.dot.ca.gov/hq/LocalPrograms/EEM/homepage.htm and at: http://www.dot.ca.gov/hq/LocalPrograms/public.htm 4) Caltrans’ Local Assistance Procedures Manual (LAPM). Page 20-5 September 29, 2008 Chapter 20 EEM Program Local Assistance Program Guidelines • • • • • • • • Processing applicant requests for funding allocation (CTC) Developing and processing Applicant-State Agreements (Agreements) Developing and processing Agreements Declaring Restrictive Covenants (ADRC) (for projects involving acquisition of real property) and Conservation Easements Providing guidance to District EEM Coordinators on policies and procedures Monitoring project status and the expenditure of EEM funds on a statewide basis. Assigning Caltrans Expenditure Authorization (EA) number Processing scope change requests and applicant status transfer requests Processing amendments Revising and updating policies, guidelines, and manuals, on the EEM Web site at: http://www.dot.ca.gov/hq/LocalPrograms/EEM/homepage.htm. CALTRANS DISTRICTS The Caltrans District Directors have the primary responsibility for administering the EEM program at the district level. The Caltrans District Local Assistance Engineer (DLAE) assists the District Director. These responsibilities include: • Providing general guidance to applicants on the EEM Program and for project specific information. • Commenting on candidate projects to assist the CTC in selecting the projects prior to being funded. Areas of concern include but are not limited to: - Forwarding Grant Applications involving acquisition of real property or a conservation easement to the District Right of Way Office for their early review and involvement in acquisition projects. - Providing assistance to applicants to find a Caltrans transportation facility that may qualify as the “related transportation project” for the EEM project. - Environmental documentation. - Impact on State-owned or -maintained facilities. - Conformance with plans for future facility construction or modification. - Comments on specific items such as amount of water required for a proposal and its availability. - Conflicts with State, local, or federal law. - Maintenance responsibilities. • • • • • Page 20-6 January 23, 2004 Assisting the HQ EEM Program Coordinator in administering projects, including making contacts with the project applicants to resolve issues on projects. Coordinating the processing of the acquisition documents for projects involving the acquisition of real property or a conservation easement including preparation and submittal of the Final Report of Real Property or Conservation Easement Expenditures for acquisition projects involving direct deposit of EEM funds to an escrow account. Forwarding applicant submitted funding allocation request letters and applicant submitted scope change request letters, along with their recommendation to the Caltrans EEM Program Coordinator. Final inspection of the completed project and approval of payment of the final invoice. For projects on State-owned right-of-way, the District Landscape Architect reviews the completed project and approves payment of the final invoice. Processing final paperwork to close out the project. LPP 04-02 Local Assistance Program Guidelines Chapter 20 EEM Program 20.5 PROJECT EVALUATION AND SELECTION MANDATORY REQUIREMENTS All candidate EEM projects must meet the following minimum requirements: • • • • • • Demonstrate a direct or indirect relationship with the environmental impact of modifying an existing or constructing a new transportation facility. Provide mitigation or enhancement above and beyond the mitigation required under the California Environmental Quality Act (CEQA) or the National Environmental Policy Act (NEPA) as part of the transportation projects to which they are related. Be compatible with and not interfere with the operation or safety of the transportation facilities when the mitigation measure is in or near the right of way. Not limit currently planned or anticipated future improvements to the transportation facility. Applicant must submit environmental documentation for EEM project prior to being included in annual program. Within thirty (30) days of receipt, Applicant must sign and return the Applicant-State Agreement to Caltrans. EVALUATION CRITERIA All candidate EEM projects are evaluated by the RA using the following general criteria and assigning values based on a point system within the ranges indicated. Projects are evaluated using general criteria (up to 55 points) and the appropriate project category criteria (up to 45 points). A maximum of 100 points may be assigned to any one project. In summary, the scoring allocation is as follows: GENERAL EVALUATION CRITERIA (55 POINTS) The general evaluation criteria consists of: • • • Increased Mitigation and Enhancement (0-20 points) Project Readiness (0-15 points) Statewide Project Goals and Local Cash Contributions (0-20 points) PROJECT CATEGORY CRITERIA (45 POINTS) Highway Landscape and Urban Forestry Project • • • Cost Effectiveness (0-20 points) Sustainability and Suitability (0-20 points) Other Benefits and Community Participation (0-5 points) Resource Lands Projects • • • LPP 08-03 Important Resource Values (0-30 points) Sustainability (0-10 points) Other Benefits and Community Participation (0-5 points) Page 20-7 September 29, 2008 Chapter 20 EEM Program Local Assistance Program Guidelines Roadside Recreational Projects • • • Need for the Project (0-30 points) Sustainability (0-10 points) Other Benefits and Community Participation (0-5 points) A complete description of the above evaluation criteria is contained in the application packet developed by the RA. 20.6 FUNDING CONSIDERATIONS MAXIMUM GRANT AMOUNT Generally, grants for individual projects are limited by the RA to $350,000. Under special circumstances, applications may be recommended for awards exceeding this amount, if warranted by the following conditions: • • • • Project involves the acquisition of resource lands or a conservation easement of substantial size. Combined benefits would be realized in more than one project category. Mitigation would be achieved to offset the environmental impacts of more than one related transportation project. Current grant cycle presents an immediate, onetime opportunity for maximum mitigation benefits that could not be achieved in the future. NORTHERN/SOUTHERN COUNTIES SPLIT In keeping with the provisions in Sections 187 and 188 of the California Streets and Highways Code, an attempt will be made to allocate 40 percent of the total amount of EEM funds recommended to projects in the northern counties, and 60 percent of the total amount of EEM funds recommended to projects in the southern counties. The southern counties are: San Luis Obispo, Kern, Mono, Tulare, Inyo, Santa Barbara, Ventura, Los Angeles, San Bernardino, Orange, Riverside, San Diego and Imperial. All other counties are considered northern counties for purposes of the EEM Program. 20.7 CONSIDERATIONS FOR ACQUISITION OF REAL PROPERTY OR CONSERVATION EASEMENTS If federal funds are used on an EEM project for the acquisition of real property or a conservation easement, all acquisition matters must comply with applicable federal and state laws and regulations (see Chapter 13, “Right of Way,” of the Local Assistance Procedures Manual (LAPM) at: http://www.dot.ca.gov/hq/LocalPrograms/lam/lapm.htm). If no federal funds are involved, the basic requirements of the State Uniform Act must be followed: • The real property or conservation easement is appraised before the initiation of negotiations. • The property owner (seller) is provided with a written offer of just compensation. Page 20-8 September 29, 2008 LPP 08-03 Local Assistance Program Guidelines • • • Chapter 20 EEM Program The property owner (seller) is not coerced, as defined in Government Code Section 7267.5. The property owner (seller) is reimbursed for any expenses incidental to the transfer of title. If any persons are displaced by the project, all appropriate relocation assistance services and benefits are provided. Projects involving acquisition of real property or a conservation easement are subject to an appropriate form of State approved restrictive covenants, which must be signed by both parties, notarized, executed and recorded in the county where the subject acquisition takes place. These restrictive covenants protect the State’s investment of EEM funding on the subject property from unapproved use should the subject property be sold, traded, condemned, or, is not managed and maintained as specified in the Grant Application and the State agreement(s). In such cases, the restrictive covenants would require the applicant to reimburse the State at least an amount equal to the State’s funding participation, or the pro rata fair market value of the subject property including improvements at the time of the sale or condemnation, whichever is higher. For acquisition of real property in fee title, the Agreement Declaring Restrictive Covenants (ADRC) (see Exhibit 20-E, “Agreement Declaring Restrictive Covenants (ADRC),” of this chapter) is the document required for record. For projects involving the acquisition of real property “rights,” that is, a conservation easement, the ADRC is not applicable. For such projects, the applicant is required to use restrictive covenants language in the project Deed of Conservation Easement or use the EEM Restrictive Covenants Agreement (see Exhibit 20-E1, “EEM Restrictive Covenants Agreement for Conservation Easement (RCACE)).” ADRC/RCACE must be signed and notarized to permit Caltrans’ approval. RCACE must be recorded at escrow closing. The applicant may request for Caltrans to deposit EEM funds directly into an escrow account set up by the applicant with a title company when acquisition of real property or a conservation easement is involved (see Section 20.8, “Procedures Following CTC Adoption of EEM Program,” Item 12, “Payment Directly to Escrow Company,” of this chapter). The opening of the escrow with a title Company or an Escrow Agency is the responsibility of the applicant. The applicant is solely responsible for paying the costs of these services. Any interest earned on EEM funds held in an escrow account MUST be repaid to Caltrans immediately after close of escrow. When an EEM project involves acquisition of real property or a conservation easement, it is strongly recommended that the District Right of Way Unit be involved early in the project development process. It is the responsibility of the District EEM Coordinator to contact the Caltrans District Right of Way Office for review and approval of the subject acquisition by the applicant before the close of escrow. 20.8 PROCEDURES FOLLOWING CTC ADOPTION OF EEM PROGRAM Following CTC adoption of the annual EEM program in which an applicant’s project has received preliminary funding (see Sections 20.1, “Introduction,” 20.2, “Eligibility Considerations,” and 20.3, “Project Application,” of this chapter regarding the application process), the steps for implementing EEM projects are as follows: LPP 04-02 Page 20-9 January 23, 2004 Chapter 20 EEM Program Local Assistance Program Guidelines 1. Request for Funding Allocation by the CTC – Once the CTC has adopted the annual EEM Program, thus approving preliminary funding of up to $10 million for the program, each applicant is responsible for submitting a request in writing, on applicant’s letterhead (see Exhibit 20-C “Request for CTC Allocation Vote,” of this chapter) to the District EEM Coordinator for an allocation vote from the CTC by March 31 in the fiscal year of adoption. This will allocate the funds specifically to their project. The applicant can also submit its request in time to receive its vote at the time of CTC program adoption. Applicants MUST receive their funding allocation by March 31 of the fiscal year of program adoption or the project will be dropped from the program, thus allowing another project to be selected (encumbrance authority expires June 30 of the first fiscal year). The three-year project funding begins in the fiscal year the project was adopted. 2. Project Commencement - The applicant may not commence any reimbursable project work (for which EEM funds and match funds will contribute) until after all the following occur: 1) the project is adopted into a State program, 2) the project has received a CTC funding allocation, 3) the project Applicant-State Agreement (Agreement) (see Exhibit 20-D of this chapter) has been signed by both the applicant and the State and fully executed, including certification of the agreement by the Caltrans LPA Office showing EEM funds have been encumbered for the project. 3. Change of EEM Applicant Status - For a request to change applicant status prior to the CTC funding allocation, the original applicant must submit a written request (Exhibit 20-F, “Change of EEM Applicant Status Request Letter: Pre-Allocation Vote,” of this chapter) to the District EEM Coordinator. It will require Caltrans and CTC approval. The District EEM Coordinator forwards the request to the EEM HQ Program Coordinator for inclusion on the CTC agenda along with the funding allocation request. For a request to change applicant status after the funding allocation, the original applicant must submit a written request (Exhibit 20-G, “Change of EEM Applicant Status Request Letter: Post-Allocation Vote”) to the District EEM Coordinator. It will require Caltrans and CTC approval. The District EEM Coordinator forwards the request to the EEM HQ Program Coordinator for inclusion on the CTC agenda. The request letter states the transfer of all rights, responsibilities, payments, and the “title” of applicant on the project, has been mutually agreed to by the original applicant and new applicant agency. Authorizing signatures of both parties must appear on the request letter, along with the RA’s Grant Application cover page and the signed assurances, completed and signed by the new applicant agency. New applicants that are local government agencies and nonprofit entities must also attach a resolution by the new applicant agency’s governing board. Nonprofit organizations must include a copy of the letter showing their classification under section 501(c)(3) of the IRS code. Page 20-10 January 23, 2004 LPP 04-02 Local Assistance Program Guidelines Chapter 20 EEM Program Upon CTC approval of the transfer of applicant status, a new EEM Agreement must be executed in the name of the new applicant agency. No reimbursements to the new applicant agency may occur prior to the date of the new agreement. Any work done prior to the date of the new agreement is not reimbursable to the new applicant agency. 4. Agreements with the Applicant An Applicant-State Agreement (Agreement) (see Exhibit 20-D, “Applicant-State Agreement,” of this chapter) is required for all projects receiving EEM program funds. This Agreement: • • • • • • • • Provides the Expenditure Authorization (EA) Number. States the Applicant’s name (must be consistent with CTC Resolution adopting EEM Program, if not, a “Change of EEM Applicant Status Request Letter: Post Allocation Vote (Exhibit 20-G),” form must be completed) along with an "Assignment and Assumption of Agreement (Exhibit 20-L)." States the effective date of the Agreement. Defines the description and location of the project. Establishes State and local contributions funding commitments along with the percentages of EEM funding and local contributions. Contains a current cost proposal prepared by the applicant. Defines the EEM program requirements for applicable design standards, acquisition procedures and construction standards/procedures. Defines specific roles and responsibilities for all entities involved in performing the work on the project including, management and maintenance of the property, records retention, and audits. The EEM Program Coordinator prepares the Agreement with the above information except the cost proposal. The Coordinator sends the following EEM Agreement package to the applicant: • • • Cover letter with instructions to complete Agreement. Two copies of the Agreement (applicant must sign and return both as originals). One (1) original of the project ADRC or RCACE (only for projects involving acquisition of real property or conservation easements). The Web sites for required policies and procedures: CTC Guidelines for Allocating, Monitoring and Auditing of Funds for Local Assistance Projects and Caltrans’EEM Guidelines are at: http://www.dot.ca.gov/hq/LocalPrograms/EEM/homepage.htm and RA’s Procedures and Criteria are at: http://resources.ca.gov/eem. For projects involving acquisition, see Item 6, “Acquisition of Real Property or a Conservation Easement,” of this section for the processing procedures of the ADRC or RCACE and other acquisition related documents. LPP 08-03 Page 20-11 September 29, 2008 Chapter 20 EEM Program Local Assistance Program Guidelines Upon receipt of the agreement, the applicant must review it for completeness, and complete the Cost Proposal (except for acquisition-only projects) (see Exhibit 20-D, “Applicant-State Agreement,” Attachment B, “Cost Proposal” of this chapter). For acquisition projects requesting the direct deposit of EEM funds into an escrow account, the applicant must complete the escrow account information in Exhibit 20-D, Attachment E “Remarks and Covenants” of the “Applicant-State Agreement.” Two original Applicant-State Agreements must be signed by the applicant and returned to the HQ EEM Program Coordinator for final execution within 90 days of receipt. The EEM Program Coordinator will sign and forward both original Agreements to LPA. LPA encumbers the funds, certifies and returns the Agreements to the EEM Program Coordinator. LPA retains a copy of the conformed Agreement for their files. One original conformed executed Agreement is returned to the applicant. The remaining original Agreement is retained by the EEM Program Coordinator and made part of Caltrans' permanent EEM files. A Conformed copy of the Applicant-State Agreement is sent to DLAE (EEM District Coordinator). 5. Project Commencement - Following execution of the agreement, reimbursable work may begin on the project. Applicant is strongly encouraged to submit the 1st invoice by April of the 1st fiscal year. 6. Acquisition of Real Property or a Conservation Easement - Legal and physical control of the property shall be acquired in accordance with applicable state laws and regulations prior to the applicant’s advertising for bids for construction or development of the project. The State provides reimbursement only for the purchase of property that is required for the project. When an applicant acquires property that includes excess land, the cost of the excess portion must be excluded from the reimbursement requests submitted to Caltrans. The Applicant-State Agreement for acquisition projects should be executed as specified in Item 4, “Agreements with the Applicant” of this section. Any land acquisition in fee simple purchase using EEM funds is subject to restrictive covenants (ADRC), which must be executed and recorded on the subject acquisition. The ADRC (Exhibit 20-E, “Agreement Declaring Restrictive Covenants (ADRC)” of this chapter) is prepared by the HQ EEM Program Coordinator, signed and notarized by the applicant and State. The ARDC must be recorded by the applicant along with the Grant Deed to the property being purchased. The ADRC must include the legal property description and original EEM application. For projects involving the acquisition of real property rights, that is a conservation easement, the ADRC document is not applicable. Instead, the applicant is required to execute the EEM RCACE (see Exhibit 20-E1, “EEM Restrictive Covenants Agreement for Conservation Easements (RCACE)” of this chapter). It is prepared by the HQ EEM Program Coordinator, signed and notarized by the applicant and State. The RCACE must be recorded by the applicant along with the Deed of Conservation Easement for the easement being purchased. The ADRC and the RCACE must include the legal property description and original EEM application. Page 20-12 September 29, 2008 LPP 08-03 Local Assistance Program Guidelines Chapter 20 EEM Program Preparation of the ADRC or the RCACE by the HQ EEM Program Coordinator (except where noted) includes: • Providing the Project Number (application number) • Providing the Agreement Number • Providing the Applicant’s Name • Providing the effective date of the ADRC or RCACE (completed by applicant) • For the ADRC: Attachment A, “Legal Description of Real Property,” and Attachment B “Original EEM Application” of Exhibit 20-E. • For the RCACE: Attachment A “Legal Description of Conservation Easement” and Attachment B, “EEM Original Application” of Exhibit 20-E1. Another option for the applicant, other than executing the RCACE, is to include the following restrictive rights covenants language in the Deed of Conservation Easement for the project: “CONDEMNATION: The Conservation Easement (“EASEMENT”), described in Attachment A, Exhibit 20-E1 (“Legal Description of Conservation Easement” consistent with EEM Grant Application), attached hereto and incorporated herein by this reference, to be acquired, developed, rehabilitated or restored pursuant to the Applicant-State Agreement No. _____________ by the APPLICANT, will be operated, managed, and maintained into the future consistent with Attachment B, Exhibit 20-E1 (“EEM Original Application”), attached hereto and incorporated herein by this reference. If the EASEMENT is taken by the exercise of the power of eminent domain by any public, corporate, or other authority, the State of California, Department of Transportation (“STATE”) shall make the determination if such a taking creates a loss of use, as described in Attachment B due to an unsustainable environmental habitat resulting from the material loss of water, access, ground water flows, etc., so as to annul the purposes intended to be achieved by this EASEMENT. If the STATE determines there is such a loss, the Grantee shall be entitled to compensation in accordance with applicable law for the value of the EASEMENT taken and Grantor shall be entitled to compensation in accordance with applicable law for the value of the underlying fee taken. The Grantor and Grantee shall join in appropriate actions at the time of such taking to recover the full value of the taking and all incidental or direct damages resulting from the taking, which proceeds shall be divided in accordance with the proportionate value of Grantee’s and Grantors’ interests at the time of this grant, it being expressly agreed that this EASEMENT constitutes a compensable property right. All expenses incurred by Grantor and Grantee in such action shall be paid out of the recovered proceeds. Grantee shall be entitled to compensation in accordance with applicable law for the value of the EASEMENT taken and Grantor shall be entitled to compensation in accordance with applicable law for the value of the underlying fee taken. The ratio of the value of the EASEMENT to the value of the underlying fee is _____________%, such amount having been determined at the time of the grant of this EASEMENT by that certain real property appraisal prepared by __________, dated _________________, on file with the Grantee. LPP 04-02 Page 20-13 January 23, 2004 Chapter 20 EEM Program Local Assistance Program Guidelines The EEM grant made to the Grantee is for the purpose of acquiring the EASEMENT in the amount of $________ (the "EEM Grant"). The EEM Grant represents ________% (the “EEM Share”) of the total cost of the Easement. If the EASEMENT is proposed to be taken in whole or in part, by exercise of the power of eminent domain, the condemning authority shall notify STATE of the proposed taking by sending written notice to: State of California, Department of Transportation, Attn: Legal Department 1120 N Street, MS 57 Sacramento, California 95814 and the State Highway Account shall be reimbursed as follows: Grantee shall pay STATE the EEM Share, ________%, of net proceeds received by Grantee from any taking of the EASEMENT (after Grantee deducts costs incurred by Grantee from the gross proceeds received by Grantee in connection with the condemnation) to reimburse STATE for the EEM Grant. Grantee shall not be obligated to pay STATE as set forth above if STATE approves in writing Grantee's use of those proceeds for the protection of equivalent environmental resources protected by similar conditions to the extent applicable. If the EEM Share, ________%, of the net proceeds received by Grantee is less than the EEM Grant, $________, then Grantee shall pay STATE from the balance of the net proceeds received by Grantee (i.e., the remaining __________% of the net proceeds which shall be referred to herein as the "Remainder Proceeds"), an amount sufficient that STATE is reimbursed a total of the EEM Grant, $___________, or as close thereto as the Remainder Proceeds will allow. Grantee shall not be obligated to pay STATE any portion of the Remainder Proceeds if the Remainder Proceeds are contractually required to be paid to any other source who provided funds for the acquisition of the EASEMENT, or if STATE approves in writing Grantee's use of the Remainder Proceeds for the protection of alternative environmental resources subject to the protection of STATE’s interests in those resources with similar conditions to the extent applicable.” Should the property or conservation easement be sold, traded, condemned, or no longer used for the purpose intended as part of the EEM program, the restrictive covenants require the applicant to reimburse the State at least an amount equal to the State’s funding participation, or the pro rata fair market value of the acquisition including improvements at the time of the sale or condemnation, whichever is higher. Notarization of the restrictive covenant document qualifies them to be publicly recorded. After all of the issues and demands presented in the escrow are resolved, it is the escrow agent’s duty to take both the original Grant Deed and original restrictive title or rights covenants agreement to the County Recorder’s Office for recordation. Page 20-14 January 23, 2004 LPP 04-02 Local Assistance Program Guidelines Chapter 20 EEM Program Prior to the close of escrow date, and not more than 60 days prior to the anticipated close of escrow date for projects requesting the direct deposit of EEM funds into an escrow account, the applicant forwards the following acquisition documents to the District EEM Coordinator for review and approval by the Caltrans District Right-ofWay Division Chief: 1) An original of the ADRC or the EEM RCACE with notarized signatures, or a copy of the Deed of Conservation Easement with restrictive covenants language. 2) A copy of the Preliminary Title Report. 3) A current appraisal. 4) Escrow instructions. 5) Invoice for payment (only for projects requesting direct deposit of EEM funds into an escrow account). The District EEM Coordinator forwards the above documents along with the project Grant Application and a copy of the Applicant-State Agreement to the District Rightof-Way Division Chief, who must: • • • • • • • • LPP 04-02 Assure the real property or conservation easement acquired is a part of the approved project (see Attachment A, “Project Description and Financing” of Exhibit 20-D). Review the preliminary title report and assure it adequately covers the property or conservation easement for which the EEM funds have been allocated. Also assure the title for the property or conservation easement is sufficient for the proposed use and no adverse conditions affect title (see Attachment A, “Legal Description of Real Property” of Exhibit 20-E, or Attachment A, “Legal Description of Conservation Easement” of Exhibit 20-E1). Assure that Exhibit 20-E, (Attachment B, “Original EEM Application”) or Exhibit 20-E1,” (Attachment B, “EEM Original Application”) is attached. Assure the settlement does not unreasonably exceed or fall below the appraised value for the property or easement to be acquired. Assure the amount, when added to any previous payments for the project does not exceed the amount approved by the CTC. Provide additional Caltrans instructions to the Title Company escrow instructions. If EEM funds are to be direct deposited into an escrow account, the instructions should include how the funds are to be used (i.e., for the purchase of the subject real property or conservation easement when escrow requirements have been met, and requests the ADRC or RCACE is recorded that a certified copy of the recorded Grant Deed, or Deed of Conservation Easement, and Closing Escrow Statement are forwarded to the District EEM Coordinator upon Close of Escrow). Assure that the “Condemnation” language is included in the Deed of Conservation Easement if there is no RCACE. Approve the Invoice for payment (only for projects requesting direct deposit of EEM funds into an escrow account). Page 20-15 January 23, 2004 Chapter 20 EEM Program Local Assistance Program Guidelines If after reviewing the acquisition documents, the Caltrans District Right-of-Way Division Chief is assured the project meets all EEM acquisition requirements, he/she approves and signs the Invoice for payment, and signs and notarizes the ADRC, or other restrictive rights covenants agreement, if applicable. All the above documents are returned to the District EEM Coordinator who makes copies of the original ADRC, or other restrictive rights covenant agreement, the invoice for payment, and escrow instructions. The District EEM Coordinator forwards the original ADRC, or other restrictive rights covenant agreement, and escrow instructions to the escrow company. The original invoice is forwarded to the Caltrans LPA Office for processing. For applicants seeking reimbursement of EEM funds after the close of escrow for the purchase of the real property or a conservation easement, the State will pay the applicant the State’s proportionate share of EEM funding for costs incurred for the acquisition in accordance with the standard reimbursement procedures in Item 10, “Invoice and Reimbursement Process” of this section. For applicants who wish to request direct deposit of EEM funds into an escrow account with the Title Company, the procedures for payment of EEM funds will be different than the standard reimbursement process. The applicant must request the payment to an escrow account by completing Exhibit 20-D of the Applicant-State Agreement, Item 12, “Payment Directly to Escrow Account” of this section. Since EEM funds are paid out in advance of the Close of Escrow, the following project completion approval process must be completed after the close of escrow in order to close out the project: • The Title Company forwards a certified copy of the recorded Grant Deed, or Deed of Conservation Easement, and the Closing Escrow Statement to the District EEM Coordinator. • The District EEM Coordinator must receive the original recorded ADRC (or the recorded restrictive rights covenants agreement or the recorded Deed of Conservation Easement) from the county where the property is purchased. • Upon receipt of the above documents, the District EEM Coordinator completes final report for the project (see this chapter, “Project Completion,” Exhibit 20M, “Final Report of Acquisition of Real Property or Conservation Easement Expenditures,”) and provides the District Right-of-Way Unit with a copy of the recorded document. The original recorded ADRC, with Attachment A and B or other recorded restrictive rights covenants agreement, are forwarded to the HQ EEM Program Coordinator. The Final Report of Real Property or Conservation Easement Expenditures is completed by the District EEM Coordinator and forwarded with Closing Escrow Statement to the LPA Office with a copy to the HQ EEM Program Coordinator. The HQ EEM Program Coordinator forwards copies of both the recoded Grant Deed, or Deed of Conservation Easement and the ADRC to the HQ Right-of-Way and Asset Management Program. The original ADRC, or Restrictive Rights Covenants Agreement becomes a part of Caltrans permanent files. Page 20-16 January 23, 2004 LPP 04-02 Local Assistance Program Guidelines Chapter 20 EEM Program If an EEM funded property is sold, traded, condemned or, is no longer managed, maintained, and used for the intended EEM purpose and the State is reimbursed, a notice of revocation of restrictive covenants (see Exhibit 20-E “Agreement Declaring Restrictive Covenants (ADRC)”) shall be properly prepared and processed for recordation by the Caltrans District Right-of- Way Unit and signed by the District Right-of-Way Division Chief and the applicant. 7. Project Cost Decreases - If the cost or scope of a project decreases for any reason, the allocation of State funds will be decreased proportionately with a decrease in the applicant’s participating contributions and amount of work completed. 8. Scope Changes - In cases where the CTC-approved EEM funding amount is less than the amount for which the applicant originally applied due to a budget reduction by the RA, the applicant is required to complete the project without downscoping it, unless downscoping is specifically authorized in writing by the RA or the CTC. When the approved EEM funding amount is reduced, the applicant must complete the project by supplementing the project cost with additional funding sources or by finding a less costly way to complete the project. In cases where the applicant does not use all the allocated EEM funding to complete the project, the remaining amount reverts back to the EEM Program. The applicant may not expend the unused EEM funding on the project for features not already included in the approved Grant Application and the Applicant-State Agreement. The State must approve changes in scope for the project. For a minor scope change, the applicant must submit a scope change request in writing using the form Exhibit 20-N “Scope Change Request,” to the District EEM Coordinator for DLA approval. Request for major changes in the project scope may require CTC and/or RA approval. If DLA approved, the EEM funds will be reduced proportionately with the reduced scope of work and costs incurred. A contract award may exceed the estimated cost proposal on the project, but in no case can the allocation of EEM funds exceed the amount approved by the CTC. 9. Inspection of Work and Recommendation of Payment - All EEM projects on State-owned right-of-way shall be inspected by Caltrans District Landscape Architect to ensure that the applicant complied with State design, construction standards, practices and with the conditions of all permits. If the inspection requires abilities or special knowledge that are outside the landscape function, the District Landscape Architect has the authority to request assistance from other Caltrans functions having the appropriate expertise. For EEM work “off” the State-owned right-of-way, the applicant is responsible for ensuring that the facility is constructed in accordance with design, construction standards, and practices of the local government having jurisdiction over the project. The District EEM Coordinator will review the facility upon project completion to verify that the project was built consistent with the approved project application using "Final Project Expenditure Report", see Exhibit 20-M. LPP 04-02 Page 20-17 January 23, 2004 Chapter 20 EEM Program Local Assistance Program Guidelines 10. Invoice and Reimbursement Process - All work on the project must be completed prior to the end of the second fiscal year following the first fiscal year of program adoption. Once the project has been completed, the project completion approval process for closing out the project begins. It requires the applicant to submit one original and two copies of a final invoice (see Exhibit 20-D, “Applicant-State Agreement,” under Attachment D “Sample of EEM Project Invoices,” of this chapter) with copies of all back-up documentation for costs incurred on the project. The applicant also must prepare and submit one original of the Final Project Expenditure Report (Exhibit 20-I,”Invoice Payment Request Memo for Projects Involving Acquisition of Real Property or a Conservation Easement ” and Exhibit 20-M, "Final Project Expenditure Report"). These must be submitted to the District EEM Coordinator at least 60 days prior to the expiration date of the Applicant-State Agreement. This allows the District EEM Coordinator time for a final inspection of the project site to ensure the project was completed as scoped in the Grant Application and forwarding the final invoice and the final expenditure report to the Caltrans LPA Office for processing prior to the EEM funds reverting. Failure to meet this deadline may result in nonpayment of the final invoice and the EEM funds reverting and no longer available for reimbursement on the project. Back-up documentation to close out an acquisition project must include: a copy of the recorded Grant Deed or Deed of Conservation Easement, a copy of the Closing Escrow Statement, and the original recorded ADRC, or RCACE, which must be sent to the District EEM Coordinator from the county where the property is purchased. The project completion approval process for projects involving acquisition of real property or a conservation easement with direct deposit of EEM funds into an escrow account, is covered under Item 6, “Acquisition of Real Property or a Conservation Easement,” in this section. Applicants may submit progress invoices directly to the LPA Office for reimbursement along with supporting documentation for costs incurred at the address under “For Progress Invoices” on the invoice format. Applicant is strongly encouraged to submit its 1st progress invoice by April of the 1st fiscal year. The LPA Office provides accounting services for the State and will ensure eligible EEM payments are made. Once the applicant or the District EEM Coordinator has forwarded the invoice to LPA, the invoice is processed and then forwarded to the State Controllers Office for payment. Applicants should allow up to 50 days for processing of the invoice from the time it is received by LPA. The invoice format is the means for applying to Caltrans for reimbursement. The following requirements must be satisfied prior to reimbursement of eligible project costs on a project: • • • • • Page 20-18 January 23, 2004 The project must be on a stamped CTC resolution list of projects. There must be an executed Applicant-State Agreement for the project. LPA must have certified the agreement and encumbered State funds for the project. Caltrans’ District Landscape Architect must inspect and authorize payment of the final invoice for the work on State-owned right-of-way, and the District EEM Coordinator must inspect and authorize payment of the final invoice for work off State-owned right-of-way. The payment of State funds is typically made upon completion of the work (but at the option of the applicant, monthly progress payments can be arranged). LPP 04-02 Local Assistance Program Guidelines Chapter 20 EEM Program 11. Payment Directly to Escrow Company - The applicant may request that Caltrans deposit EEM payments directly into an escrow account to be opened by the applicant with the Title Company when acquisition of real property or a conservation easement is involved. The applicant is solely responsible for paying the costs of these services. The applicant must complete Attachment D, “Remarks and Covenants” of Exhibit 20-D of this chapter, as follows: , Pursuant to the terms of Applicant-State Agreement No. and effective immediately, the dated (Name of Applicant) requests and authorizes that the EEM fund warrants be made out in the name of the: (Name of Title Company) , (Address of Title Company) , (Name of Escrow Agent) for Escrow No.______________ (Phone no.) (Title Company Tax I.D. No.__________________________________) Escrow Close Date: __________________________________ ______ 12. Project Completion - Upon completion of a project, the applicant is responsible for submitting back-up documentation and preparing a Final Project Expenditure Report and Final Invoice for submittal to the District EEM Coordinator as described under Item 10, “Invoice and Reimbursement Process,” of this section. The project completion approval process for projects involving acquisition with direct deposit of EEM funds into an escrow account is described under Item 6, “Acquisition of Real Property or a Conservation Easement,” of this section. 13. Audit - Local agency expenditures of EEM program funds are subject to financial and compliance audits by the State Controllers Office and Caltrans Office of Audits and Investigations. These guidelines are in Chapter 10, “Consultant Selection,” Exhibit 10-N, “Accounting and Auditing Guidelines for Contracts with Caltrans,” of the Local Assistance Procedures Manual (LAPM) at: http://www.dot.ca.gov/hq/LocalPrograms/lam/prog_p/p10consul.pdf. The applicant shall maintain an accurate and detailed record of the costs for its project per these guidelines. Such records shall be retained and made available for examination by the State’s auditors for a minimum of four years after the Final Project Expenditure Report is submitted to the State. 14. Fees and Administrative Charges - This program is believed to be a benefit to Caltrans as well as the applicants, therefore, all fees and administrative charges for Caltrans permits and inspection will be waived. 15. Maintenance and Operation of Project – The applicant, or its successors, is responsible for maintaining the project after it is completed and the EEM project has been approved consistent with the Grant Application and project agreement and closed out by the District EEM Coordinator. The applicant is responsible for ensuring that the subject acquisition of real property or a conservation easement acquired, developed, rehabilitated, or restored with program funds is managed and maintained, in perpetuity, consistent with applicable provisions in the Grant Application and project agreement. LPP 04-02 Page 20-19 January 23, 2004 Chapter 20 EEM Program Local Assistance Program Guidelines Caltrans’ Chief, Office of Program Management in the DLA, or his/her assignee, is responsible for approving any transfers in the management and maintenance responsibilities for the property, and for the approval of reassignment in whole or in part, of the project agreement. For transfer forms see Exhibit 20-L, “Assignment and Assumption of Agreement.” For management and maintenance of acquisition projects, see Item 6, “Acquisition of Real Property or a Conservation Easement,” of this section. 20.9 REFERENCES • • • • Page 20-20 September 29, 2008 Section 164.56 of the Streets and Highways Code; Resources Agency’s EEM Program Procedures and Criteria at: http://resources.ca.gov/eem/ California Transportation Commission Guidelines for Allocating Monitoring, and Auditing of Funds for Local Assistance Projects, Resolution G-99-25, August 18, 1999 (Exhibit 20-K): http://www.dot.ca.gov/hq/LocalPrograms/EEM/homepage.htm Caltrans’ Local Assistance Procedures Manual( LAPM) at: http://www.dot.ca.gov/hq/LocalPrograms/ LPP 08-03 Local Assistance Program Guidelines EXHIBIT 20-A EEM Program Critical Dates ENVIRONMENTAL ENHANCEMENT AND MITIGATION PROGRAM CRITICAL DATES (NOTE: Years shown apply to 2007/08 grant cycle. Dates for future cycles will vary, however, the months shown should be fairly consistent from cycle to cycle—depending on when the State Budget is passed. ) DATE ACTIONS 8/07 Date the State Resources Agency (RA) is scheduled to mail the EEM Application Packet to applicants on their mailing list. 11/07 Date the applications are due back to RA. 1/08 The RA publishes a "short list” of recommended projects and forwards to the California Transportation Commission (CTC) for funding consideration along with four (3) copies of each application. All project applicants will be notified of the status of their project at that time. Applicants making the short list should prepare “Request for CTC allocation vote and submit to District Local Assistance Engineer (DLAE)/District EEM Coordinator for April CTC meeting. 1/08 RA provides two (2) copies of each application to Caltrans Headquarters EEM Program Coordinator. 1/08 Caltrans EEM Program Coordinator distributes one copy of each application to the appropriate district for review by the DLAE/EEM Coordinators and District Landscape Architect. 2/08 CTC requests final approved copy o